RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Teams that left First Citizens Investor Services, Inc.
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | First Citizens Investor Services, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Sumter, Sc | Affiliated broker-dealer or bank to another | Feb 26, 2026 over 1 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Pasadena, Ca | Affiliated broker-dealer or bank to another | Oct 30, 2025 over 4 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Pasadena, Ca | Affiliated broker-dealer or bank to another | Oct 21, 2025 over 9 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Concord, Nc +1 | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2023 over 6 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Charlotte, Nc | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2023 |
| 2 | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Raleigh, Nc | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2022 over 1 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Raleigh, Nc | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2020 over 6 d |
| 2 | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Greenville, Nc +1 | Affiliated broker-dealer or bank to wirehouse | Apr 30, 2019 over 7 d |